2016 Compliance Risk Study

4 Key Challenges from Accenture’s 2016 Compliance Risk Study

Hot off the presses, Accenture just published their 2016 Compliance Risk Study and the consulting firm arrived at one critical conclusion: that the Compliance function in many financial services firms is at a crossroads and, as such, Compliance needs to figure out the exact role that it wants to play in the future. This year’s Compliance Risk Study, which[…]

Market abuse surveillance

4 key takeaways regarding the state of market abuse surveillance

Recently, PriceWaterhouseCoopers (PwC) UK published the findings from their 2016 market abuse surveillance survey. The survey was given to twenty of the largest global banks and the results aren’t surprising. Over the past five years, financial services firms have been investigated and fined with increased frequency across a wide range of alleged market abuses. And according to the Bank of[…]